Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever.
Particularly, a client filed a complaint about Donald Dever. Supposedly, Dever did not follow his instructions. Supposedly, the client wanted the investments “feathered through” to maximize the value. Therefore, the client allegedly sustained damages on over-the-counter equities. On September 1, 2023, UBS Financial Services Inc. settled this matter by paying the client $94,373.73 in damages.
Notably, a client of UBS Financial Services Inc. contested Dever's sales practices, according to a complaint. Allegedly, Dever engaged in unauthorized trading. It appears that Dever allegedly caused the client to sustain damages. Consequently, UBS Financial Services Inc. opted to settle the matter on August 23, 2019, by compensating the client in the amount of $15,500.
Did you experience losses due to Donald Dever? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Dever and brokerage firms Dever worked for deny accusations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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